| (2) Complaint Handling. A client has the right to make
a formal or informal complaint to the commission. A broker may not
use a written or verbal agreement with a client to impair this right
for a client that is a residential or small commercial customer. A
broker must not require a client that is a residential or small commercial
customer to engage in alternative dispute resolution, including requiring
complaints to be submitted to arbitration or mediation by third parties.
(3) Informal Complaints.
(A) A person may file an informal complaint with the
commission by contacting the commission at: Public Utility Commission
of Texas, Customer Protection Division, P.O. Box 13326, Austin, Texas
78711-3326; (512) 936-7120 or in Texas (toll-free) 1-888-782-8477,
fax (512) 936-7003, e-mail address: customer@puc.texas.gov, Internet
website address: www.puc.texas.gov, and Relay Texas (toll-free) 1-800-735-2989.
(B) A complaint should include the following information,
as applicable:
(i) The complainant's name, billing and service address,
telephone number and email address, if any;
(ii) The name of the broker;
(iii) The broker's registration number;
(iv) The name of any relevant REP;
(v) The customer account number or electric service
identifier;
(vi) An explanation of the facts relevant to the complaint;
(vii) The complainant's requested resolution; and
(viii) Any documentation that supports the complaint.
(C) The commission will forward the informal complaint
to the broker.
(D) The broker must investigate each informal complaint
forwarded to the broker by the commission and advise the commission
in writing of the results of the investigation within 21 days after
the complaint is forwarded to the broker by the commission.
(E) The commission will review the complaint information
and the broker's response and notify the complainant of the results
of the commission's investigation.
(F) The broker must keep a record for two years after
receiving notification by the commission that the complaint has been
closed. This record must show the name and address of the complainant,
the date, nature, and outcome of the complaint.
(G) While an informal complaint process is pending,
the broker must not initiate collection activities, including a report
of the customer's delinquency to a credit reporting agency, with respect
to the disputed portion of the bill.
(4) Formal Complaints. If the complainant is not satisfied
with the results of the informal complaint process, the complainant
may file a formal complaint with the commission within two years of
the date on which the commission closes the informal complaint. Formal
complaints will be docketed as provided in the commission's procedural
rules.
(l) Record Retention.
(1) A broker must establish and maintain records and
data that are sufficient to:
(A) Verify its compliance with the requirements of
any applicable commission rules; and
(B) Support any investigation of customer complaints.
(2) All records required by this section must be retained
for no less than two years, unless otherwise specified.
(3) Unless otherwise prescribed by the commission or
its authorized representative, all records required by this subchapter
must be provided to the commission within 15 calendar days of its
request.
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